| 09-01648 | 07/16/2010 | Claimant(s): Joseph Demty, Mr. Joseph J. Demty, IRA
Claimant Lawyers(s): Joseph J. Demty
Respondent(s): Thinkorswim.
Respondent Lawyers(s): Elizabeth A. Fitzwater
Arbitrator(s): Nancy J. Cliff, Jonathan H. Parker, Daniel P. Lund
Hearing Site: Miami, FL
|  | $0 |
| 09-04539 | 07/16/2010 | Claimant(s): Martha Brancato and Vincent Brancato
Claimant Lawyers(s): Martha Brancato
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Alun Hywel Jones
Hearing Site: New York, NY
| | $0 |
| 09-06893 | 07/16/2010 | Claimant(s): Esemco Corporation, Steve N. Mitchell IRA, Steve N. Mitchell Roth IRA
Claimant Lawyers(s): Steve N. Mitchell
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sean R. Murphy
Arbitrator(s): Carolyn A. Mann
Hearing Site: Albany, NY
| | $425 |
| 09-03941 | 07/15/2010 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Mark Graham
Respondent Lawyers(s): Daniel P. Dietrich
Arbitrator(s): Benjamin E. Fisher, Ruth C. Adrian, Ian S. Greig
Hearing Site: Tampa, FL
| | |
| 09-04541 | 07/15/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana H. Sur
Respondent(s): Lawrence Wood
Respondent Lawyers(s): Lawrence Todd Wood
Arbitrator(s): Nicholas John Taldone
Hearing Site: Atlanta, GA
| | |
| 09-05774 | 07/15/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Michael Lopez
Respondent Lawyers(s): Michael W. Lopez
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
| | |
| 09-06086 | 07/15/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Felix Deacon
Respondent Lawyers(s): Felix E. Deacon
Arbitrator(s): Thomas W. Steed
Hearing Site: Richmond, VA
| | |
| 09-06537 | 07/15/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Lawton
Respondent Lawyers(s): Steven Michael Lawton
Arbitrator(s): Ernest Fanwick
Hearing Site: Providence, RI
| | |
| 09-06726 | 07/15/2010 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Barry R. Temkin
Respondent(s): Sharon Hubberman
Respondent Lawyers(s): Sharon D. Hubberman
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | |
| 09-00530 | 07/15/2010 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Frederick S. Schrils
Respondent(s): Donald J. Reilly, Donald Reilly and Helen Reilly
Respondent Lawyers(s): Howard Rosenfield
Arbitrator(s): Linda Fairchild, Donald J. Spero, Theodore Haynes
Hearing Site: Orlando, FL
| | $0 |
